florida office of financial regulation Archives

Rex Securities Law
March 5, 2018
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Joseph M. Thurnherr-Former Windsor Street/Meyers Assoc. Broker-Discloses Numerous Customer Suits-New York

Joseph M. Thurnherr-Former Windsor Street/Meyers Assoc. Broker-Discloses Numerous Customer Suits-New York http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 5, 2018 March 5, 2018

March 2018 – New York The FINRA records of Joseph M. Thurnherr, a stock broker who is currently employed by Spartan Capital Securities disclose two prior regulatory matters, three pending customer disputes , three prior final…

Rex Securities Law
April 5, 2017
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Revere Securities Sanctioned by Securities Regulators

Revere Securities Sanctioned by Securities Regulators http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 5, 2017 April 5, 2017

March 2017-New York According to publicly available records Revere Securities LLC , (CRD# 14178) , a FINRA registered broker dealer headquartered in New York City, discloses a pending regulatory matter , 9 prior final…

Rex Securities Law
March 28, 2017
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Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, FL

Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 28, 2017 June 19, 2017

April 2017-Boca Raton, FL According to publicly available records Scott Allen Sibley , (CRD# 1523981) , a former stockbroker who last worked for Moors & Cabot, discloses 3 prior regulatory events, 2 pending…

Rex Securities Law
September 12, 2016
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Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL

Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 12, 2016 October 10, 2017

Oldsmar, Florida-UPDATE OCTOBER 2017-In October 2016 a customer of Fulcrum Securities file FINRA arbitration 16-02962 seeking damages of $189,000 and alleging that Mr. Tomaras made unsuitable investment recommendations in equities…

Rex Securities Law
August 8, 2016
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GWN Securities Agrees to $20K Fine with Florida Securities Regulators

GWN Securities Agrees to $20K Fine with Florida Securities Regulators http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 8, 2016 August 8, 2016

July 2016- Palm Beach Gardens, FL The FINRA records of GWN Securities, Inc. , a stock brokerage firm whose main office is located in Palm Beach Gardens, FL , disclose a recently finalized regulatory event. The Financial…

Rex Securities Law
July 19, 2016
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Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL

Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 19, 2016 May 22, 2017

July 2016-Boca Raton, Florida The FINRA records of Chazon Stein (also known as Chaz Stein, Chazoni Stein & Zoni Stein) , a currently unlicensed stockbroker who last worked for Primex , disclose a prior regulatory event and 2 prior…